THE WORLD’S LARGEST ALTERNATIVES
EVENT FOR FINANCIAL ADVISORS
This event brings together financial advisors, RIAs, independent and wirehouse reps, private bankers, wealth advisors, trust officers and family office executives to learn about and discuss various categories of alternative investments, including REITs, Hedge Funds, Specialty ETFs and Mutual Funds, Private Equity, Managed Futures, Options, Commodities, Derivatives and Structured Products, Life Settlements and Premium Finance.
Lawrence Kudlow is CNBC’s Senior Contributor. He was previously host of CNBC’s primetime “The Kudlow Report”. He is also the host of “The Larry Kudlow Show”, which broadcasts each Saturday from 10 a.m. – 1 p.m. on WABC Radio and is syndicated nationally by Cumulus Media.
Kudlow is a nationally syndicated columnist. He is a contributing editor of National Review magazine, as well as a columnist and economics editor for National Review Online. He is the author of “American Abundance: The New Economic and Moral Prosperity,” published by Forbes in January 1998.
During President Reagan’s first term, Kudlow was the associate director for economics and planning, Office of Management and Budget, Executive Office of the President, where he was engaged in the development of the administration’s economic and budget policy.
He is the recipient of numerous awards, including Extraordinary Commitment Award from St. Patrick’s Church of Redding, CT; Bishop’s Humanitarian Award from the Catholic Charities of Brooklyn and Queens; Humanitarian Award from Pregnancy Care Center of New Rochelle, NY; Distinguished Communicator Award from the Brooklyn Diocese; Ambassadors for Mission Award from the Pontifical Mission Societies of the United States.
In addition, Kudlow received the Spirit Award from Hazelden Foundation of Center City, MN; Exemplary Achievement Award from Covenant House of New York; Ethical Angel Award from the Guardian Angels of New York; the Reagan Great Communicator Award from the New York Young Republications Club; Discovery Award from Sacred Heart University; Visionary Award from Council for Economic Education; Community Recognition Award from Positive Directions; Reflection Award from Good Counsel; President’s Award from Silver Hill Hospital.
He is presently on the Board of Directors of Hazelden New York, Catholic Cluster School of the Diocese of Bridgeport, CD, a member of St. Patrick’s Church Parish Council, and a former Fordham University Board of Trustees member.
Kudlow is CEO of Kudlow & Co., an economic research firm (www.kudlow.com).
Marcus Luttrell’s 2007 #1 New York Times best-selling book, Lone Survivor, tells the harrowing story of four Navy SEALs who journeyed into the mountainous border of Afganistan and Pakistan on Operation Redwing. An unparalleled motivational story of survival, the book is also a moving tribute to the firends and teammates who did not make it off the mountain. A powerful testament to the courage, integrity, patriotism and community that forged these American heroes, Lone Survivor is an incredible account of teamwork, fortitude and modern warfare. In January 2014, Luttrell’s amazing story made the leap to the big screen with the blockbuster film, Lone Survivor, directed by Peter Berg (Battleship, Hancock) and starring Mark Wahlberg (The Fighter, The Departed) as Luttrell. The fil celebrated a historic open, earning the second biggest January debut of all time.
John Mauldin is the chairman of Mauldin Economics, an economics publishing firm; president of Millennium Wave Investments LLC which is an investment advisory firm registered with multiple states; and is also president and a registered principal of Millennium Wave Securities, LLC, a FINRA and SIPC registered broker dealer. Mauldin currently lives in Dallas and is the proud father of seven children, five of whom are adopted.
Isaac Braley, president, director of BTS, and investment committee member, joined BTS Asset Management in 1999. Braley has served as a significant contributor to portfolio analysis and creation. Braley is head of distribution for the organization. He has a BS in business and management from Keene State College and an MS in financial planning from the College of Financial Planning.
Rick Brandt is lead portfolio manager for the RS Focused Growth Opportunity and RS Focused Opportunity strategies. He is also a member of the RS Solutions Team. Brandt began his investment career in 2004 and joined RS Investments in 2014. Previously he was a portfolio manager at Cerebellum Capital where he was responsible for the firm’s multi-strategy long/short portfolio.
Steven Brod has over 15 years of hedge fund experience, launching and managing multiple fund of hedge fund vehicles. Having a keen understanding of the industry, in 2007, he founded Crystal Capital Partners, providing financial advisors with customized hedge fund portfolio solutions. Brod is primarily responsible for the company’s strategic direction as well as manager selection and investment support services.
Brody J. Browe, CAIA
Brody Browe is an executive director in the Fund Strategy group at Franklin Square. Browe serves as a portfolio specialist and subject matter expert for Franklin Square’s current offerings. He is a key member of Franklin Square’s investment team and is involved in fund development and management. In this role he works closely with GSO / Blackstone. Browe brings extensive knowledge of the capital and credit markets from his previous roles.
John Cadigan directs the wholesale distribution of an array of specialized investment programs. Over his 25+ year career, he has assembled effective wholesale distribution teams for traditional and alternative investment products and educated financial advisors through various speaking and media engagements.
Anthony J. Cain
Anthony Cain is founder and chairman of LJM Partners, an alternative investment firm recognized for outstanding options strategies founded in July 1998. Cain also dedicates a significant amount of time to charitable causes including serving on the Board of Directors for Summit 54 and Rocky Mountain Prep, a Denver-based charter school.
Lawrence Calcano is one of the managing partners of iCapital Network where he is responsible for the company’s Investor Network and business development. Calcano previously was a partner at Goldman, Sachs & Co., where he spent 17 years, most recently serving as the co-head of the Global Technology Banking Group of the Investment Banking Division. Calcano serves on the Board of 1-800-FLOWERS.COM, Capitol Acquisition 2 and Bite Tech. He was named to the Forbes Midas List for five years.
As a representative for The Options Industry Council and serving as director, financial advisor education, Eric Cott endeavors to help advisors and their firms to use options more effectively. Cott is responsible for expanding OIC’s outreach to financial advisors. Additionally, he participates in conference panel discussions, presents advisor-oriented educational seminars, and guides the development of options curriculum and content for the OIC Advisor web site.
Jason Cross, PhD
Jason Cross joined Whitebox in 2001. As the global head of equity strategies, Cross oversees the development and execution of alternative equity strategies at the firm. During his time at Whitebox, Cross has spent more than a decade developing sophisticated quantitative models and fundamental investment processes to support the firm’s equity investment efforts.
Joseph K. Cunningham
Joseph K. Cunningham has over 30 years of experience spanning investment product and business development, strategic relationships management and the implementation of trading models for global equities and derivatives markets. He joined Horizons ETFs Management (USA) LLC in April 2013 as executive vice president and head of capital markets. In this role he oversees all market-making and capital-market trading relationships for Horizons ETFs in the United States, and assists with institutional distribution.
Jeffrey P. Davis, CFA
Jeffrey Davis is the CIO and Management Committee member for LMCG Investments. He is PM of the LMCG Global Multi-Cap Fund. Previous positions include CIO at Rockefeller & Co., State Street Global Advisers and The Boston Company. He holds a BA from Duke University, an MBA from Vanderbilt University and a CFA.
Benjamin R. Deschaine, CAIA
Ben began his investment career in 1998 and is responsible for managing Balter’s mutual fund products. He was in charge of hedge fund and private equity research at Federal Street Advisors, and also worked directly within a hedge fund – Sabretooth Capital Management, one of Julian Robertson’s “Tiger Cubs.”
Derek Devens is a member of the investment committee and co-manages the Kinetics Alternative Income and the Kinetics Multi-Disciplinary mutual fund. Previously, Derek held roles at Goldman Sachs and Fischer Francis Trees & Watts. He received a BS from Princeton University and an MBA from New York University.
Burl East has 30 years of experience on Wall Street as a managing director and as an NASD Broker-Dealer member-owner. He has raised approximately $15 billion in capital (mostly equity) from sophisticated investors globally in 142 large-scale real estate transactions. He currently serves on Leadership Council at USC’s Lusk Center for Real Estate and Board of Directors of Excel Trust, Inc.
Patrick Galley joined RiverNorth in 2004 and serves as Chief Investment Officer and Portfolio Manager. Galley heads the firm’s investment team and oversees all portfolio management activities at RiverNorth. Galley also serves as the president and chairman of RiverNorth Funds. Prior to joining RiverNorth, Galley was vice president at Bank of America in the Global Investment Bank’s Portfolio Management group.
Michael Gaviser joined KKR in 2012 and is a member of the Client and Partner Group. He leads the firm’s global efforts for registered products, where he focuses on fundraising, new products, marketing, and distribution. Prior to joining KKR, he spent fifteen years at Alliance Bernstein and was also head of international equities sales in London and head of large market sales for Sanford C. Bernstein. Gaviser earned a B.A. from the University of Pennsylvania and an M.B.A. from Columbia Business School.
Jeremy Held, CFA
Jeremy Held began his career at ALPS in 1996 and has more than 18 years of experience in the asset management industry. He is responsible for research, product development, and consulting services on behalf of the ALPS ETF, Mutual Fund, and Closed-End Fund business segments.
Ben Hunt is the Chief Risk Officer of Salient Partners, a $20 billion asset manager based in Houston, Texas. Dr. Hunt is also the author of Epsilon Theory, read weekly by more than 30,000 investors, and he is a featured contributor to Forbes, Zerohedge, Seeking Alpha, and other media outlets.
Brian Jacobs has over 25 years of leadership experience in asset management. Prior to Direxion, he was CEO of Hatteras Funds, founded Jacobs Strategic Consulting and consulted for numerous asset managers. From 1990 through 2008, he built and led two large, successful distribution organizations – Eaton Vance and Allianz/PIMCO. He also holds the (C.I.M.A.)
Bob Jesenik has more than 30 years of expertise in corporate finance and investment management. As co-founder of Aequitas Capital, he has provided leadership in structuring and investing the majority of the firm’s transactions since its inception in 1993. He chairs the firm’s Investment Committee and oversees the activities of the firm’s healthcare and private credit opportunities.
Christine M. Johnson, CFA
Christine M. Johnson is a managing director and head of Alternatives Product Management. Prior to joining AB in 2013, she was a director at Deutsche Asset & Wealth Management, where she was responsible for alternative strategy and platform development and coauthored a white paper. Johnson holds a BA in finance with a minor in economics from Pace University and an MBA with a double concentration in international finance and information systems from Fordham University. She is a CFA charterholder.
Jeff Johnson has served as chief executive officer for Dividend Capital Diversified Property Fund since January 2013. Johnson served as managing principal of Lakeshore Holdings, LLC, a private equity real estate firm that he founded, from 2007 through December 2012. He also served as founder and managing principal of Reunion Office Holdings, LLC, and as chief investment officer and managing director of Transwestern Investment Company, now known as Pearlmark Real Estate Partners.
Jeff Joseph, CEO of alternative investment forum alphapages.com, previously headed Alternative Investment Strategies at Rydex Investments where he developed a groundbreaking 5B alternative investment platform. Joseph is co-managing partner of Prescient Capital, a boutique venture investment firm and sits on the investment committee of the iSelect venture capital fund.
William J. Kelly
William (Bill) J. Kelly, CEO of the CAIA Association, is an asset management industry veteran with extensive managerial and boardroom experience gained through successive CFO, COO, CEO and Independent Board director roles. He is the former CEO of Robeco Investment Management, a subsidiary of the Netherlands-based global asset management organization, where he oversaw all aspects of United States business.
Lawrence Kissko is a portfolio manager of the American Beacon AHL Managed Futures Strategy Fund and a client portfolio manager for AHL Partners LLP. He joined AHL in July 2014. He holds an MBA from Duke University and a BS in economics from the Wharton School at the University of Pennsylvania.
Ryan Levitt joined Pomona Capital in 2007 and focuses on portfolio construction, investment analysis and deal sourcing for Pomona’s secondary fund of funds, primary fund of funds and co-investment businesses. He has 10 years of private equity experience. Prior to joining Pomona, Ryan was an investment professional at GE Capital, managing deal underwriting and execution in the energy, health care and financial services sectors.
Eddie Lund serves as vice president of business development. Lund joined Gemini Fund Services, LLC in 2007 and in 2013, his role was expanded to include Gemini Hedge Fund Services, LLC. Lund started in the sales industry in 2000 and in his current role, he is responsible for new business development, including managing the sales process used to attract new clients to Gemini.
Lara Magnusen, CAIA
With over 15 years of industry experience, Lara Magnusen serves as portfolio strategies and portfolio manager for Altegris Advisors and is a member of the Investment Committee. Magnusen has worked at Altegris since 2005, previously serving as the director of investment products and director of research and investments for Altegris Advisors.
William H. Miller
William H. Miller, chief investment officer of Brinker Capital, chairs the company’s investment committee and sets the investment philosophy and process for Brinker Capital. He is responsible for asset allocation, manager selection and review and alternative investments for Brinker Capital. He holds a B.A. in economics from Trinity College.
Gloria S. Nelund
Gloria S. Nelund has served as chairman and chief executive officer of Trilinc Global since its formation in April 2012. In addition, she has served as the chairman and chief executive officer of their Advisor since its formation in April 2012 and as the chairman and chief executive officer of their Sponsor since its formation in August 2008.
Brian Rice joined Aequitas Capital in 2014, bringing over 20 years of experience in private, retail, corporate and business banking. As a partner of Aequitas Capital, he drives strategy and growth initiatives for the wealth management platform, including Aequitas Capital Partners, Hickory Growth Partners, and Aspen Grove. Prior to this role, he served as Regional President at KeyBank, where he oversaw the Community Bank franchise.
As chief investment officer, Jack Rivkin provides oversight of the Altegris Research and Investments Group and is a member of the Altegris Investment Committee. Rivkin has overall responsibility for identifying, selecting, and monitoring fund managers across multiple investment disciplines, and managing asset allocation and research for Altegris products. In addition, he is a key representative of Altegris in the investment community.
Jeffrey J. Sherman, CFA
Jeffrey Sherman joined DoubleLine in 2009, is a member of the Fixed Income Asset Allocation Committee and a portfolio manager for derivative-based and multi-asset strategies. Prior to DoubleLine, he was a Senior Vice President at TCW where he worked as a portfolio manager and quantitative analyst focused on fixed income and real-asset portfolios.
Mark Sunderhuse is a founder and managing director of Red Rocks Capital. Prior to forming Red Rocks Capital in 2003, he was a partner and portfolio manager at Berger Financial Group (now Janus Capital Group).
As vice president of Retirement and Wealth Strategies, Katie Turner is responsible for developing concepts driving the creation, distribution and preservation of wealth. Prior to this role, Turner leveraged her Juris Doctor at an estate planning firm servicing high net worth clients and served as Jackson’s regional vice president for annuity sales in Los Angeles, CA. With more than 13 years of industry experience, she now runs a team of advanced planning specialists well-versed in the practice of asset location.
Michael Underhill, chief investment officer, is frequently asked to speak on topics regarding Real Asset investing. He is author of the Handbook of Infrastructure Investing, has published over 100 industry papers and remains one of the world’s most provocative, respected financial analysis. His mutual fund and separate account strategies have won numerous awards worldwide.
Dorothy Collins Weaver
Dorothy Collins Weaver is CEO & co-founder of Collins Capital, which has specialized in delivering alternative investment solutions since 1995. Weaver is the former chairman of the Federal Reserve Bank of Atlanta, Miami Branch. She has also served on the Investment Committee of the American Red Cross and chaired the Finance Committee of Wellesley College.
Michael Winchell is Co-CIO and managing member of Larkin Point Investment Advisors LLC.
Winchell served Mariner Investment Group as portfolio manager from 2008 to 2012. From 1999 through 2007, Winchell served as COO of Bear Wagner Specialists. From 1989 through 1999, Winchell was chief risk officer of Bear Stearns & Co., and a member of the Bear Stearns’ Board of Directors.
Subject to change
July 13, 2015
7:00 am - 5:00 pm
7:30 am - 8:00 am
8:00 am - 8:10 am
Speaker TBD, Realty Capital Securities LLC
8:10 am - 9:00 am
9:05 am - 9:55 am
Is The Time Right For Low Volatility Funds?
History indicates that volatility typically rises in the later stages of a bull market. With the current market advance that began in 2009 approaching a record seventh year, low-volatility funds are permit investors to participate in equities while limiting risk. Is it the propitious time to consider them?
ALTs' Research, Red Flags and Warning Signs
10:00 am - 10:30 am
10:35 am - 11:25 am
Improving Asset Allocation with Alternatives
Carefully selected alternative investments can provide alpha and act as hedges, and can be useful in smoothing returns. Learn what to look for in alternative investments and how they can be used to enhance asset allocation models.
Managed Futures beyond Trend Followers
The term "managed futures" has become synonymous with systematic trend following strategies, which gained a lot of attention in 2008. However, the managed futures category encompasses many other strategies that are uncorrelated with equity markets as well as other alternative categories.
11:30 am - 12:20 pm
The Many Paths to Real Assets Investing
As growth in emerging markets is producing what some view as secular, long-term global demand for real assets, the question facing advisors are examining how to gain exposure to an uncorrelated asset class. This session will explore a variety of ways to invest in real assets that include investing in securities, futures and long-short strategies.
Tail Risk Management: Using Tactical Strategies to Capture Trends
Markets since the financial crisis have been characterized by numerous anomalies, including bouts of unprecedented volatility. In this session, managers will outline strategies with the ability to perform well in normal markets, while dramatically limiting risking down markets, and reducing overall volatility.
12:20 pm - 1:30 pm
1:35 pm - 2:05 pm
2:10 pm - 3:00 pm
Limiting Downside Risk with Alternative Options-Based Strategies
The extraordinary volatility that the financial markets experienced in 2008 and 2009 prompted clients to reassess their risk tolerance levels. It also caused many advisors to explore new ways to control risk. This session examines how advisors can employ options and other derivatives to limit the downside risk to a client's portfolio.
Liquid Alternatives: Generating Alpha with ETFs, ETNs and Hedge Fund Mutual Funds
While many advisors utilize traditional alternative investments to generate greater returns, "liquid alternatives" in the form of ETFs, ETNs, and hedge fund mutual funds can provide similar alpha with more liquidity. This panel will address how "liquid alternatives" can diversify client assets and improve risk-adjusted returns.
3:05 pm - 3:55 pm
Understanding Real Estate Alternatives
Real estate markets have been improving. Our panel will provide an overview of asset class pros and cons and debate underlying fundamentals that can assist in determining which programs and sponsors are appropriately suited for various clients. These will include trends and potential in rental growth, absorption, tenancy, TIs and LCs, organic growth vs. value creation, intrinsic vs. market force driven stability, and more.
Diverse Strategies to Generate Income
With low interest rates likely to prevail for the foreseeable future, advisors need to investigate ways for clients to earn income from their investments in an environment of financial repression. This session will examine a variety of investment vehicles that are available and explore their pros and cons.
4:00 pm - 4:35 pm
4:40 pm - 5:30 pm
Making Smart Beta Work For Your Clients
A decade ago, asset managers began building portfolios based on the concept of exploiting market inefficiencies by severing the link between an asset's price and its weight in the portfolio. The idea, which came to be called smart beta, has spawned a wave of different strategies, such as fundamental indexing and minimum variance and newfangled methods of sector rotation. This session will examine several strategies that offer clients advantages that traditional indexing does not.
Evaluating Private Equity and Venture Capital Opportunities
Opportunities in private equity and venture capital are always changing. Investment managers discuss how they evaluate these opportunities and describe how they assess risk and reward.
5:30 pm - 7:00 pm
July 14, 2015
7:30 am - 8:00 am
David Smith Opening Remarks and Introduction
8:00 am - 8:10 am
8:15 am - 9:15 am
9:20 am - 10:10 am
Beyond Liquidity: Evaluating Traditional Hedge Funds with '40 Act Alternatives
Hedge funds structured in a mutual fund format offer investors transparency and liquidity. But there are situations when other features and attributes, including illiquidity, work to the client's advantage. This session will take an agnostic approach to examining the costs and benefits of both vehicles.
Business Development Companies
2012 was a year of extraordinary growth for BDCs, which can earn lucrative returns by providing loans to small to mid-sized companies. BDC's pay out 90% of their income and many provide very attractive yields for investors. However, not all BDCs are the same or offer the same quality of investments. Learn what to look for in evaluating these alternatives.
10:15 am - 11:05 am
Achieving Tax Efficiency with Alternatives
This panel will address how advisors can use tax efficient alternative strategies to generate high levels of tax-free income while maximizing after-tax return and remaining neutral to changes in interest rates. These strategies may also offer significant diversification benefits.
Absolute Return Funds
Absolute return funds encompass a wide variety of low-volatility styles, from risk arbitrage to global macro to currencies and equity-rotation strategies. In this panel, leading managers will discuss how they try to achieve solid returns that are not correlated to major market indexes.
11:05 am - 11:40 am
11:40 am - 12:30 pm
Accessing & Allocating Alternatives
You may know why you should use alternative investments in an asset-allocation model, but are unsure of how large of an allocation to make in the average client's portfolio. Which strategies make the most sense to gain exposure yet remain simple so the client can understand the investment? ETFs? Mutual funds? Panelists also discuss investment minimums, fees and liquidity issues associated with alternatives, as well as the solutions, including feeders, intermediaries and platforms. Come learn what makes the most sense for you and your clients.
MLPs, a Compelling Asset Class
Master limited partnerships provide a crucial service that's always in demand - the distribution of energy resource. Most are liquid securities that are easy to track and trade. In the last decade, these investments annually outpaced the S&P 500, and advisors who have put in the time to study them have been able to deliver income and low volatility to clients. This session will provide an overview of MLPs, how they work and how you can use them in client portfolios.
12:30 pm - 2:00 pm
2:00 pm - 3:00 pm
In a slow-growth global economy where many companies are struggling to achieve top-line revenue growth, the reality is there are often as many losers as there are winners. When one layers the increasing pace of technological change and disruption on top of that, it creates a business climate that is downright Darwinian. In this session, long-short equity funds that pick both winners and losers will explain their methodologies and outlooks.
Realty Capital Securities, LLC (“RCS”), member FINRA/SIPC is a wholesale broker dealer focused exclusively on the distribution of non-traded investment programs. The products offered on RCS’ platform target specific sectors with varying investment strategies.
As a leader in the non-traded investment program industry, RCS places a premium on offering the investment community unique exposure to diverse, complementary, and professionally managed investment opportunities to meet the objectives of suitable investors’ portfolio needs. www.rcsecurities.com
Sponsors and Exhibitors
AB is a leading investment-management firm with $475 billion in client assets under management. They provide forward-looking perspective, independent research and investment discipline across all asset clients, leveraging their extensive global footprint – to help keep their clients ahead of tomorrow.
Aequitas Capital is a diversified financial services company that creates alternative investments including private equity, private credit and specialty finance. The firm leverages its robust network of industry experts to invest in under-served sectors that drive the overall economy with an emphasis on education, healthcare and financial services. Aequitas helps its portfolio companies and strategic partners reach their goals by providing management expertise, technology infrastructure and a network of support services.
ALPS Portfolio Solutions is an asset manager based in Denver, CO with $16 billion in assets under management. They offer innovative portfolio solutions that help financial advisors and institutional investors build better portfolios. They specialize in satellite and alternative asset classes focusing on private equity, MLPs, commodities, alternative income, global real estate, sectors and emerging markets. Their exposure to these asset classes are achieved primarily through ETFs and open-end funds so that they can provide access that is registered, liquid and fully transparent.
They strive to deliver portfolio solutions that allow investors to diversify their core holdings, obtain exposure to attractive investment themes and ultimately build better portfolios.
For additional information about ALPS products, please visit – www.alpsfunds.com
Altegris searches the world to find what they believe are the best alternative investments. Their suite of alternative investment solutions are designed for financial professionals and individuals seeking to improve portfolio diversification.
Are a series of low-cost, style-pure mutual funds. The Funds employ a “manager of managers” strategy and partners with who we consider to be the “best of the best” sub-advisors offering a variety of international and domestic equity and fixed-income solutions. As of September 30, 2014 American Beacon Advisors managed over $55 billion in assets. www.americanbeaconfunds.com
Balter Liquid Alternatives
Balter Liquid Alternatives (BLA) is a subsidiary of Balter Capital Management, a boutique firm focused on hedge fund research and investing. BLA was formed to create and manage daily liquidity alternative mutual funds. Balter Capital Management oversees approximately $1.2 Billion in hedge fund and alternative mutual fund assets. BLA constructs liquid investment products utilizing existing hedge fund managers.
Behringer creates, manages and distributes specialized investments through a multi-manager approach that presents unique options for allocating capital, managing risk and diversifying assets. Investments sponsored and managed by the Behringer group of companies have invested into more than $11 billion in assets.
For more information, call toll-free 866.655.3600 or visit behringerinvestments.com
Brinker Capital, Inc.
Since 1987, Brinker Capital has innovated based on creative ideas generated from actively listening to the needs of financial advisors and investors. Their highly strategic, disciplined investment process is the key to making their ideas successful and helping to achieve better outcomes for advisors and their clients.
BTS Asset Management
Founded in 1979, BTS Asset Management is one of the oldest unconstrained fixed income managers, providing quantitative risk management solutions. BTS has multi-year track records in tactical fixed income and equity management. They have combined traditional and non-traditional portfolio theories to find opportunities with the potential to take advantage of rising markets while working to manage losses during downturns.
The Chartered Alternative Investment Analyst (CAIA) Association is the world leader in alternative investment education. CAIA programs include the CAIA Charter® and the Fundamentals of Alternative Investments Certificate Program®. For more information, please visit CAIA.org.
Cole Capital® is an industry-leading non-listed real estate investment trust (REIT) sponsor that develops and distributes innovative net-lease real estate products serving individual investors and financial professionals. Built on more than 35 years of experience, Cole Capital’s strategy seeks to collect rent from industry-leading corporations and provide a stream of income to investors through non-listed REITs. Please contact your Cole Capital representative at (866) 341-2653 or visit www.colecapital.com to learn more about these products and services.
The College for Financial Planning
The leading institution focused on meeting the education needs of financial services professionals, the College for Financial Planning created the Certified Financial Planner™ (CFP®) certification and have professional designations in retirement planning, asset management, and alternative investments. Flexible instructor-led/web-delivered classes featured eBooks and interactive quizzes bring the classroom to you.
Since 1995, Collins Capital has specialized in delivering institutional quality alternative investment solutions. Through markets bull and bear, in portfolios big and small, Collins Capital is committed to protecting capital in market turmoil and generating compelling risk-adjusted returns over the long term.
Crystal Capital Partners
With over 20 years of hedge fund experience, Crystal Capital Partners helps you grow your advisory business with alternatives. With only $250,000 and no per-fund minimums, your clients can access over 70 institutional-quality hedge funds and invest alongside the world’s most sophisticated investors. Other services include analytical tools, due diligence, consolidated reporting, institutional safeguards, streamlined execution, advisor support and more. All services can be private labeled, and are at no cost to you. www.crystalfunds.com
Direxion has offered alternatives for modern portfolios since 1997. They offer practical investment solutions to today’s market challenges with a broad suite of highly liquid, institutional-style alternative investment strategies. From leveraged ETFs, to index-based alternative mutual funds, Direxion offers strategies that help investors manage risk-adjusted performance though evolving market conditions.
Direxion’s role is to compliment your core investment strategies, not to replace them. Their funds allow you to seek opportunities in all market conditions offering alternatives for your modern portfolio.
Divdend Capital is an innovative real estate investment management firm with expertise in all aspects of the public and private real estate sectors – as investors, operators and financiers. Dividend Capital offers a wide variety of real estate options for individual and institutional investors. www.dividendcapital.com
DoubleLine is an independent, employee-owned money management firm founded in 2009 by Jeffrey Gundlach. The firm offers a wide array of investment strategies run by an experienced team of portfolio managers that has worked together for many years, employing active risk management, in-depth research, and innovative product solutions. Strategies range across equities, fixed income and global macro with $63 billion under management including mutual funds, hedge funds and separate accounts as of December 31, 2014.
EJF is an SEC-registered, employee-owned alternative asset management firm headquartered outside of Washington, DC. EJF manages more than $6 billion across a diverse group of alternative asset strategies. EJF was founded in 2005 by Manny Friedman and Neal Wilson along with a small team of professionals from Friedman, Billings, Ramsey Group, Inc (“FBR”). EJF currently employs approximately 70 professionals across three offices globally (Arlington, VA, London, England and Shenzhen, China).
Equity Institutional is an industry leader in providing alternative investment custodial services to brokers, advisors and sponsors. Equity Institutional services institutional clients of Equity Trust Company. Equity Trust Company and its affiliates provide services to thousands of financial professionals and 130,000 clients with $12 billion in assets under custody. Visit www.EquityInstitutional.com for more information.
ETF.com (formerly IndexUniverse.com) is the leading independent authority on ETFs, indexes and index funds. It covers product and market developments related to index funds, ETFs, index derivatives, and the sophisticated investment strategies that use these financial tools. The web site aims to provide the industry’s best news, columns, research and features about the dynamic field of index-based investing and trading. It also offers valuable tools and data to assess markets and investment products, and incisive commentary designed to help advisers cut through the clutter and find the right products for their clients.
Franklin Square is a leading manager of alternative income funds designed to enhance investors’ portfolios. The firm’s funds offer “endowment-style” investment strategies that help construct diversified portfolios and manage risk. The firm manages five funds, each sub-advised by GSO / Blackstone. Learn more at franklinsquare.com.
Founded in 1994, Horizon Kinetics LLC is an employee owned and operated investment boutique based in New York. They adhere to long-term independent, fundamental research which often takes contrarian views to capitalize on the short-term focus of the marketplace. They manage $9.2B in assets including $0.5B in liquid alternative strategies.
Horizons ETFs Group
The Horizons ETFs Group consists of innovative financial services companies offering regional families of ETFs in Canada, the United States, Korea, Hong Kong, Australia and Columbia. With approximately $8.6 billion in assets under management and 141 ETF listings worldwide, the Horizons ETFs Group makes up one of the largest collective families of ETFs in the world. All of the Horizons ETFs Group companies and affiliates are subsidiaries of Mirae Asset Global Investments Co., Ltd. USA products distributed by Foreside Fund Services, LLC.
iCapital Network is an online private equity marketplace for registered investment advisors, family offices and high-net-worth individuals. the state-of-the-art platform provides qualified institutions and individuals with powerful research tools, turnkey diligence support and access to a selection of high-demand private equity funds at low minimums. Visit www.icapitalnetwork.com for more information or to register for free.
IRON Financial, LLC is an independent asset management firm with deep expertise in delivering liquid alternatives with absolute returns to investors, combined with boutique-level service.
Founded in 1994, IRON Financial has successfully managed a series of liquid alternative and enhanced return strategies for financial intermediaries.
For more information about IRON Financial, visit www.ironfinancial.com.
Jackson National Life Insurance Company® (Jackson®) is one of America’s leading providers of variable, fixed and fixed index annuities. Jackson started offering alternatives in 2005 — before the market meltdown and before alternative investing became news. Since then, we’ve become a leading distributor of alternative investments in the annuity market. For more information, visit www.myeliteaccess.com and www.jackson.com .
Larkin Point Investment Advisors LLC is an asset management firm and investment adviser registered with the Securities and Exchange Commission. The Larkin Point Solution seeks to capture growth in bull markets, protect and preserve gains in down markets, and generate income in all markets in an attempt to cover the cost of protection and add to total return.
Larkin Point provides solutions for wealth managers and financial advisors. Larkin Point was founded by Michael Winchell, and is based in Rumson, NJ. www.larkinpoint.com
Litman Gregory Asset Management
Founded in 1987, Litman Gregory is a San Francisco Bay-area firm that manages assets for high net work individuals, institutions, and other advisors using strategies that draw on its global tactical asset allocation expertise and in-depth manager due diligence. The firm also publishes its research for investment professionals through AdvisorIntellegence. Litman Gregory advises a family of no-load mutual funds, including a fully liquid, multi-strategy alternatives fund. In total, Litman Gregory manages or advises on approximately $8 billion in assets.
For over sixteen years, LJM Partners has managed and specialized in volatility strategies. Our liquid strategies provide alternative solutions to traditional investment portfolios. LJM strategies aim to diversify traditional equity portfolios, deliver low correlation to equity markets, and to target lower standard deviation returns to increase overall portfolio returns.
LMCG Fund’s Adviser is LMCG Investments, LLC (LMCG), a $6.5 billion multi-strategy boutique investment firm. The leadership has a history of working together and provided trading, settlement, and operation expertise for strategies invested in over 40 countries for long only, alternatives, fixed income and equity based strategies.
Milennium Trust Company
Millennium Trust Company is a leading financial services company offering niche alternative custody solutions. We serve as a complement to services offered by other custodians. Our innovative solutions include rollover solutions, alternative asset custody, private fund custody and advisor support services. www.mtrustcompany.com
Northern Lights Distributors
Northern Lights Distributors, LLC helps you navigate the distribution universe. They serve as an advocate for our clients’ products by collaborating with financial intermediatries and partners. This collaboration includes connecting advisers and intermediaries to the compelling, independent mutual funds in the Northern Lights Fund Trusts and Two Roads Shared Trust. Managers join the trusts to counteract the increasing costs of doing business and increased level of regulatory compliance in the mutual fund industry. A shared trust offers economies of scale through shared costs and trust-level negotiated legal fees. Funds also gain access to well-qualified board members.
The Options Industry Council
The Options Industry Council (OIC) is dedicated to educating individual investors, financial advisors and institutional investors about the benefits and risks of exchange-traded options. OIC comprises the nine U.S. options exchanges and OCC. Since 1992, the contributions that OIC has made to the investing and brokerage communities have been significant to the growth of the options industry. OIC has a wide range of educational programs and offerings – software, literature, live seminars, online classes and Investor Services live help at 1-888-OPTIONS – tailored to meet the knowledge and experience level of individual investors who are willing to learn about the versatility of options. The educational materials created by OIC are approved by exchange compliance professionals.
RiverNorth is a Chicago-based investment management firm founded in 2000 that specializes in opportunistic investment strategies. RiverNorth focuses on strategies in niche markets where the potential to exploit inefficiencies is greatest. RiverNorth is the investment adviser to RiverNorth Funds and General Partner of multiple limited partnerships.
At RS Investments, we move our clients forward. Together, we pursue consistent returns that draw on the right mix of critical thinking, deep research, and quantitative analysis. We are domain experts, not generalists, and that knowledge helps us deliver better outcomes for our clients. We believe success is defined by more than investment returns. There is a destination beyond performance where credibility, trust, and relationships matter. Our goal is to provide the long-term returns our clients expect to help them see further, plan smarter, and move forward.
Founded in 1986, today RS Investments serves a global client base, including institutions, financial advisors, and individuals. RS is headquartered in San Francisco, California, with offices across the globe including Des Moines, Iowa; Villanova, Pennsylvania; London; and Hong Kong
Their clients have entrusted them with $21.3 billion* of their capital, which they invest and advise across a broad spectrum of traditional and alternative investments.
Regardless of the business line, the unifying elements of their approach are: an emphasis on risk management, employing a research-driven investment process, and a focus on a cost-efficient investment implementation. In short, they believe that their clients should be compensated for the risks they take and the fees and costs they incur.
Their collective experience tells them that this approach is the best way for Salient to help their clients achieve their financial objectives.
*As of December 31, 2014
SC Distributors is a premier distribution platform for select alternative investment products. The company aligns itself with leading alternative investment sponsors that have a demonstrated history of success that can help design and deliver what it believes are fully differentiated, high quality investment products. Through a demonstrated financial services wholesale distribution model, SC Distributors delivers these products to financial advisors, and their clients, throughout the United States.
Schooner Investment Group
Schooner Investment Group provides investment management services to institutions and financial intermediaries that are seeking to preserve and build capital with a focus on sustainable, risk reducing investment strategies. The Firm manages mutual funds, with a focus on liquid alternative funds, separate accounts, and private investment funds. Schooner advises the Schooner Fund (Tickers: SCNAX, SCNIX) a hedged-equity mutual fund. The Fund was specifically designed for the general investing public; executing investment strategies that seek upside participation coupled with superior risk management. www.schoonerfunds.com
Sprott Asset Management
Sprott Asset Management is a Toronto-based alternative asset manager that offers a wide variety of investment solutions to Canadian and international investors. Their product offerings include mutual funds, alternative strategies, physical bullion trusts and tax-efficient funds.
With a history dating back to 1981, their team of investment professionals is united by one common goal: delivering outstanding long-term returns to their clients and investors.
To achieve that end, they have assembled a group of best-in-class portfolio managers, market strategies, technical experts and analysts that is widely-recognized for its investment expertise and unique investment approach. They are committed to conducting deep fundamental research to develop unique macroeconomic insights.
TD Ameritrade Institutional
TD Ameritrade Institutional is a leading provider of comprehensive brokerage and custody services to more than 4,500 fee-based, independent Registered Investment Advisors and their clients. Their advanced technology platform and outstanding personal support allows advisors to run their businesses more efficiently and optimize time spent with clients.
TD Ameritrade Institutional, Division of TD Ameritrade, Inc, member FINRA/SIPC
Tortoise Capital Advisors, LLC
Montage Investments provides institutional-caliber investments to investors and the financial professionals who serve them, through a family of independent asset managers. The largest, Tortoise Capital Advisors, is an investment manager specializing in listed energy investments that span the energy value chain.
Voya Investment Management
Voya Investment Management (Voya IM) is a leading active asset management firm. As of December 31, 2014, Voya IM manages approximately $213 billion* for affiliated and external institutions as well as individual investors. Drawing on over 40 years of experience and an ongoing commitment to reliable investing, Voya IM has the resources and expertise to help long-term investors achieve strong investment results.
Whitebox Mutual Funds
Whitebox Advisors is a registered investment advisor to private investment funds as well as mutual funds. Seek asymmetric upside potential and limited risk, Whitebox maintains a long-term focus on capital appreciation over time. The firm is guided by 10 investment principles, the first of which is “The source of investment return is the efficient reduction of risk.“
WHV Investments is a multi-boutique asset manager with offices in San Francisco, Seattle, and Denver. They engage exceptional investment teams worldwide to create compelling investment strategies for their clients, focusing on a variety of equity and alternative credit asset classes.
Investor’s Business Daily
Founded in 1984 by investor and entrepreneur William J. O’Neil, Investor’s Business Daily (IBD®) provides individual and professional investors essential market-timing analysis, top performing lists and proprietary ratings to help them identify true market leaders. The information is delivered through their leading-edge investing products and innovative investor education programs. IBD created the world’s first stock database in the 1960’s to compare and rate stocks based on performance criteria to find emerging leadership. Today IBD tracks data on over 8,000 publicly traded companies and is used by over 600 institutional investors worldwide.
What is the dress code for the conference?
The attire for the conference is business casual. No shorts or t-shirts.
What is the cancellation policy?
If you are unable to attend, you may replace your registration with a substitute delegate at no extra cost. Should you completely cancel, notification must be submitted in writing by June 21, 2015. Cancellations received by June 21, 2015 will be subject to a $50 administrative fee. No cancellation refunds/requests will be accepted after June 21, 2015.
In the event the conference is cancelled, Charter Financial Publishing Network (CFPN) assumes no liability for non-refundable transportation costs, hotel accommodations or any additional costs incurred by registrants. CFPN reserves the right to alter the agenda without notice including the substitution or cancellation of speakers and/or topics.
What time does registration open on Monday, July 13?
Attendee registration opens at 7:00 a.m. on Monday. Sponsor registration will be open on Sunday, July 12th from 2:00-5:00pm.
Can I register on-site on the day of the conference?
Yes, however we encourage you to register beforehand.
How will continuing education hours be credited?
Forms will be available at registration, all attendees are to self-report the program for credit